RS
Raleigh Smith
GENEOS WEALTH MANAGEMENT
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 6506659
RS
Professional summary
Raleigh Smith, who also goes by Raleigh Michael Smith, is a registered financial advisor currently at GENEOS WEALTH MANAGEMENT, INC. located in Greenwood Village, Colorado.
Raleigh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Raleigh has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raleigh Michael Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1). DBA: will work under G5 FINANCAIAL GROUP located at branch location 40 hours per week. 2) LP Finch and Associates - REGISTERED ASSISTANT 3) Independent Rep with various insurance carriers for FIXED INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Raleigh Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Raleigh Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 20, 2025 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 5251 Dtc Parkway Suite 1001, Greenwood Village, CO 80111RIA
BD
CRD#: 120894
Greenwood Village, CO
Current
May 20, 2025 - Present
GENEOS WEALTH MANAGEMENT, INC.
Office #1: 5251 Dtc Parkway Suite 1001, Greenwood Village, CO 80111RIA
BD
CRD#: 120894
Greenwood Village, CO
Past
March 31, 2025 - May 8, 2025
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
WHEAT RIDGE, CO
Past
May 26, 2022 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENWOOD VILLAGE, CO
Past
May 24, 2022 - May 8, 2025
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
Past
January 10, 2022 - April 18, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ENGLEWOOD, CO
Past
January 10, 2022 - April 18, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ENGLEWOOD, CO
Past
December 21, 2017 - January 11, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Denver, CO
Past
November 28, 2017 - January 11, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
DENVER, CO
Past
August 27, 2015 - November 27, 2017
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
GW
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)Arizona
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)California
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/11/2003 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/20/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(5/20/2025)
RR
Colorado(5/20/2025)
IAR
Colorado(5/20/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/20/2025
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/19/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GW
GENEOS WEALTH MANAGEMENT, INC.
GENEOS WEALTH MANAGEMENT, INC.
CRD#: 120894 / SEC#: 801-62331, 8-65357
RIA
Registered Investment Advisory firm - SEC (8/20/2003 Approved)Arizona
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)California
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Colorado
Registered Investment Advisory firm - SEC (9/11/2003 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Illinois
Registered Investment Advisory firm - SEC (8/20/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Texas
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (8/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
9635 Maroon Circle Suite 100, Englewood, CO 80112
Mailing Address
9635 Maroon Circle Suite 100, Englewood, CO 80112
Phone number
(303) 785-8470
Established
Colorado since 04/12/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
200
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GWM HOLDINGS, INC | STOCKHOLDER | |
| BRUBAKER-RAGER, JODEE MAY | PRESIDENT & CHIEF COMPLIANCE OFFICER | 1888958 |
| DIACHOK, RUSSELL RHINE | DIRECTOR | 1049804 |
| DIACHOK, RYAN WESLEY | CEO | 4047236 |
| HELMS, JEFFREY WRIGHT | DIRECTOR | 1346620 |
| OLSON, RAYMOND COREY | CFO | 1527445 |
| RAGER, DEAN ALLEN | CHIEF OPERATING OFFICER & CHIEF ADVISORY COMPLIANCE OFFICER | 2852133 |
Regulatory assets under management
| Total Number of Accounts | 22,073 |
| AUM (Assets Under Management) | $ 5,597,034,535 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
